THE ICSID CASELOAD STATISTICS

THE ICSID CASELOAD STATISTICS

The ICSID Caseload Statistics (Issue 00-) This document is intended to provide a profile of the ICSID caseload, historically and for 009. It is based on cases registered or administered by ICSID as of December 3, 009. The analysis examines: () the number of cases registered under the ICSID Convention and Additional Facility Rules; () the number of other cases administered by ICSID; (3) the basis of consent to ICSID jurisdiction invoked in registered arbitration and conciliation cases; () the geographic distribution of ICSID cases by the State party to the dispute; (5) the economic sectors involved in ICSID disputes; (6) the outcomes in ICSID cases; and (7) the nationality and geographic origins of arbitrators, conciliators and ad hoc committee members appointed in ICSID cases. The ICSID Secretariat will update this information on a bi-annual basis. Any comments or suggestions are welcome and should be addressed to the Secretariat by email to ICSIDsecretariat@worldbank.org. 00 by International Centre for Settlement of Investment Disputes. Page

TABLE OF CONTENTS PART I ALL CASES REGISTERED AND ADMINISTERED BY ICSID. Map of the ICSID Contracting States and Other Signatories to the ICSID Convention 6. Cases Registered by ICSID 7 Chart : Total Number of ICSID Cases Registered by Year 7 Chart : Number of Cases Registered by Year under the ICSID Convention and Additional Facility Rules 8 Chart 3: Type of Proceeding Registered under the ICSID Convention and Additional Facility Rules 8 3. Non-ICSID Cases Administered by the ICSID Secretariat 9 Chart : Number of Non-ICSID Cases Administered by the ICSID Secretariat over the Past Ten Fiscal Years 9. Basis of Consent Invoked to Establish ICSID Jurisdiction in Registered ICSID Cases 0 Chart 5: Basis of Consent Invoked to Establish ICSID Jurisdiction in Registered ICSID Cases 0 5. Geographic Distribution of All ICSID Cases by State Party Involved Chart 6: Geographic Distribution of All ICSID Cases by State Party Involved 6. Distribution of All ICSID Cases by Economic Sector Chart 7: Distribution of All ICSID Cases by Economic Sector 7. ICSID Proceedings Outcomes 3 Chart 8: Arbitration Proceedings under the ICSID Convention and Additional Facility Rules Outcomes 3 Chart 9: Arbitration Proceedings under the ICSID Convention and Additional Facility Rules Awards 3 Chart 0: Conciliation Proceedings under the ICSID Convention Outcomes Chart : Conciliation Proceedings under the ICSID Convention Commission Reports 8. Arbitrators, Conciliators and ad hoc Committee Members Appointed in ICSID Cases 5 Chart : Arbitrators, Conciliators and ad hoc Committee Members Appointed in ICSID Cases Distribution of Appointments by Geographic Region 5 Chart 3: Arbitrators, Conciliators and ad hoc Committee Members Appointed in ICSID Cases Distribution of Appointments by ICSID and by the Parties (or Party-appointed Arbitrators) by Geographic Region 6 Chart : Nationality of Arbitrators, Conciliators and ad hoc Committee Members Appointed in ICSID Cases 7 The data is based on ICSID statistics as of December 3, 009. The ICSID Fiscal Year covers the period July to June 30. 00 by International Centre for Settlement of Investment Disputes. Page 3

PART II CASES REGISTERED AND ADMINISTERED BY ICSID IN 009. Cases Registered by ICSID in 009 9 Chart : Number of Cases Registered under the ICSID Convention and Additional Facility Rules in 009 9. Non-ICSID Cases Administered by the ICSID Secretariat in Fiscal Year 009 9 Chart : Number of Non-ICSID Cases Administered by the ICSID Secretariat in Fiscal Year 009 3 9 3. Basis of Consent Invoked to Establish ICSID Jurisdiction in Cases Registered in 009 0 Chart 3: Basis of Consent Invoked to Establish ICSID Jurisdiction in Cases Registered in 009 0. Geographic Distribution of ICSID Cases Registered in 009 by State Party Involved Chart : Geographic Distribution of ICSID Cases Registered in 009 by State Party Involved 5. Distribution of ICSID Cases Registered in 009 by Economic Sector Chart 5: Distribution of ICSID Cases Registered in 009 by Economic Sector 6. ICSID Cases Concluded in 009 Outcomes 3 Chart 6: Arbitration Proceedings under the ICSID Convention and Additional Facility Rules concluded in 009 Outcomes 3 Chart 7: Arbitration Proceedings under the ICSID Convention and Additional Facility Rules concluded in 009 Awards 3 7. Arbitrators, Conciliators and ad hoc Committee Members Appointed in ICSID Cases in 009 Chart 8: Arbitrators, Conciliators and ad hoc Committee Members Appointed in ICSID Cases in 009 Distribution of Appointments by Geographic Region Chart 9: Arbitrators, Conciliators and ad hoc Committee Members Appointed in ICSID Cases in 009 Distribution of Appointments by ICSID and by the Parties (or Party-appointed Arbitrators) by Geographic Region 5 Chart 0: Nationality of Arbitrators, Conciliators and ad hoc Committee Members Appointed in ICSID Cases in 009 6 3 The ICSID Fiscal Year covers the period July to June 30. 00 by International Centre for Settlement of Investment Disputes. Page

PART I ALL CASES REGISTERED AND ADMINISTERED BY ICSID 00 by International Centre for Settlement of Investment Disputes. Page 5

. Map of the ICSID Contracting States and Other Signatories to the ICSID Convention 00 by International Centre for Settlement of Investment Disputes. Page 6

. Cases Registered by ICSID Chart : Total Number of ICSID Cases Registered by Year: 0 37 35 3 30 5 0 9 7 7 3 5 5 0 0 0 5 3 3 3 3 0 97 973 97 975 976 977 978 979 980 98 98 983 98 985 986 987 988 989 990 99 99 993 99 995 996 997 998 999 000 00 00 003 00 005 006 007 008 009 Cases Registered under the ICSID Convention and Additional Facility Rules As of December 3, 009, ICSID had registered 305 cases under the ICSID Convention and Additional Facility Rules. 00 by International Centre for Settlement of Investment Disputes. Page 7

Chart : Number of Cases Registered by Year under the ICSID Convention and Additional Facility Rules: 0 35 30 5 0 6 5 30 3 0 5 0 3 3 3 3 8 8 8 9 8 0 3 97 973 97 975 976 977 978 979 980 98 98 983 98 985 986 987 988 989 990 99 99 993 99 995 996 997 998 999 000 00 00 003 00 005 006 007 008 009 ICSID Convention Arbitration Cases ICSID Convention Conciliation Cases ICSID Additional Facility Arbitration Cases Chart 3: Type of Proceeding Registered under the ICSID Convention and Additional Facility Rules: ICSID Convention Arbitration Cases 7 (89%) ICSID Convention Conciliation Cases 6 (%) ICSID Additional Facility Arbitration Cases 8 (9%) 00 by International Centre for Settlement of Investment Disputes. Page 8

3. Non-ICSID Cases Administered by the ICSID Secretariat Chart : Number of Non-ICSID Cases Administered by the ICSID Secretariat over the Past Ten Fiscal Years: 0 8 6 0 0 0 7 6 3 3 3 FY 000 FY 00 FY 00 FY 003 FY 00 FY 005 FY 006 FY 007 FY 008 FY 009 UNCITRAL Cases Other Cases The ICSID Secretariat provides various levels of administrative support for non-icsid dispute settlement in State-State or investor-state proceedings. The Centre also frequently acts as an appointing authority for arbitrator appointments, and decides proposals for disqualification of an arbitrator in proceedings conducted under the UNCITRAL arbitration rules. Among the cases the Centre administered in the past decade are the Southern Bluefin Tuna case (Australia and New Zealand v. Japan), an expert determination proceeding under the Indus Waters Treaty of 960, and an arbitration under the Softwood Lumber Agreement of 006 (United States v. Canada). 00 by International Centre for Settlement of Investment Disputes. Page 9

. Basis of Consent Invoked to Establish ICSID Jurisdiction in Registered ICSID Cases Chart 5: Basis of Consent Invoked to Establish ICSID Jurisdiction in Registered ICSID Cases: North American Free Trade Agreement (NAFTA) % Energy Charter Treaty (ECT) 5% ASEAN Agreement for the Promotion and Protection of Investments % Investment Law of the Host-State 5% Bilateral Investment Treaty (BIT) 6% Investment Contract between the Investor and the Host-State % Dominican Republic- United States-Central American Free Trade Agreement (DR-CAFTA) % 00 by International Centre for Settlement of Investment Disputes. Page 0

5. Geographic Distribution of All ICSID Cases by State Party Involved Chart 6: Geographic Distribution of All ICSID Cases by State Party Involved*: Central America & the Carribean 7% North America (Canada, Mexico & U.S.) 6% Eastern Europe & Central Asia % South America 30% Western Europe % Sub-Saharan Africa 6% South & East Asia & the Pacific 8% Middle East & North Africa 0% * The classification of the geographic regions above is based on the World Bank s regional system, available at http://web.worldbank.org/wbsite/external/countries/0,,pagepk:8069~thesitepk:3697,00.html, and also includes World Bank donor countries. 00 by International Centre for Settlement of Investment Disputes. Page

6. Distribution of All ICSID Cases by Economic Sector Chart 7: Distribution of All ICSID Cases by Economic Sector*: Information & Communication 6% Agriculture, Fishing & Forestry % Oil, Gas & Mining 5% Finance 8% Services & Trade 3% Electric Power & Other Energy 3% Transportation % Other Industry 0% Tourism 5% Construction 7% Water, Sanitation & Flood Protection 8% * This sector classification is based on the World Bank s sector codes, which are available at http://siteresources.worldbank.org/projects/resources/sectorcodeslists.pdf. 00 by International Centre for Settlement of Investment Disputes. Page

7. ICSID Proceedings Outcomes Chart 8: Arbitration Proceedings under the ICSID Convention and Additional Facility Rules Outcomes: Award rendered by Tribunal 66% Proceeding Discontinued 3% Chart 9: Arbitration Proceedings under the ICSID Convention and Additional Facility Rules Awards: Award on the merits 69% Award embodying the parties' settlement agreement 0% Award declining ICSID jurisdiction % 00 by International Centre for Settlement of Investment Disputes. Page 3

Chart 0: Conciliation Proceedings under the ICSID Convention Outcomes: Conciliation Commission Report issued 67% Proceeding Discontinued 33% Chart : Conciliation Proceedings under the ICSID Convention Commission Reports: Report recording failure of the parties to reach agreement 75% Report recording agreement of the parties 5% 00 by International Centre for Settlement of Investment Disputes. Page

8. Arbitrators, Conciliators and ad hoc Committee Members Appointed in ICSID Cases Chart : Arbitrators, Conciliators and ad hoc Committee Members Appointed in ICSID Cases Distribution of Appointments by Geographic Region*: Middle East & North Africa 6% Central America & Caribbean % South America 0% Sub-Saharan Africa % South & East Asia & the Pacific 8% Eastern Europe & Central Asia % Western Europe 8% North America (Canada, Mexico, U.S.) 3% * The classification of the geographic regions above is based on the World Bank s regional system, available at http://web.worldbank.org/wbsite/external/countries/0,,pagepk:8069~thesitepk:3697,00.html, and also includes World Bank donor countries. 00 by International Centre for Settlement of Investment Disputes. Page 5

Chart 3: Arbitrators, Conciliators and ad hoc Committee Members Appointed in ICSID Cases Distribution of Appointments by ICSID and by the Parties (or Party-appointed Arbitrators) by Geographic Region*: 00 350 3 300 50 00 95 50 0 00 50 0 3 8 67 9 3 3 38 8 7 North America (Canada, Mexico & U.S.) South America Central America & the Caribbean Middle East & North Africa Sub-Saharan Africa South & East Asia & the Pacific Eastern Europe & Central Asia Western Europe Appointments by ICSID Appointments by the Parties (or Party-appointed Arbitrators) * The geographical classification is based on the World Bank s regions as set forth at http://web.worldbank.org/wbsite/external/countries/0,,pagepk:8069~thesitepk:3697,00.html, and also includes World Bank donor countries. Chart updated in August 00. 00 by International Centre for Settlement of Investment Disputes. Page 6

Chart : Nationality of Arbitrators, Conciliators and ad hoc Committee Members Appointed in ICSID Cases *: Nationality of Appointee Sudanese Sri Lankan South African Serbian Norwegian Malaysian Luxembourg Iranian/French Guatemalan Dominica Croatian Central African Swiss/Irish Portuguese Pakistani Malagasy Lebanese Jordanian Ghanaian Gabonese Finnish Czech Beninese Barbadian Togolese Nigerian Jamaican Israeli Honduran Swiss/Brazilian Moroccan Iranian Cypriot Bangladeshi Algerian Indian Guyanese Bulgarian British/French Austrian Slovak Singaporean Peruvian Thai Senegalese Philippine Ecuadorian Venezuelan Uruguayan Lebanese/French Greek Danish Brazilian Colombian Costa Rican New Zealand Swedish Argentine Belgian Dutch Chilean Egyptian German Italian Australian Mexican Spanish Swiss Canadian British French U.S. 3 3 3 3 3 5 5 5 5 5 6 6 6 7 7 7 7 8 8 8 8 9 0 3 5 5 5 5 7 30 3 33 35 6 70 7 9 06 0 0 0 0 60 80 00 0 0 Number of Appointments *Chart updated in August 00. 00 by International Centre for Settlement of Investment Disputes. Page 7

PART II CASES REGISTERED AND ADMINISTERED BY ICSID IN 009 00 by International Centre for Settlement of Investment Disputes. Page 8

. Cases Registered by ICSID in 009 Chart : Number of Cases Registered under the ICSID Convention and Additional Facility Rules in 009: 5 3 0 5 0 5 0 ICSID Convention Arbitration Cases ICSID Additional Facility Arbitration Cases. Non-ICSID Cases Administered by the ICSID Secretariat in Fiscal Year 009 Chart : Number of Non-ICSID Cases Administered by the ICSID Secretariat in Fiscal Year 009: 7 6 6 5 3 0 UNCITRAL Cases Other Cases 00 by International Centre for Settlement of Investment Disputes. Page 9

3. Basis of Consent Invoked to Establish ICSID Jurisdiction in Cases Registered in 009 Chart 3: Basis of Consent Invoked to Establish ICSID Jurisdiction in Cases Registered in 009: Energy Charter Treaty (ECT) 7% Investment Law of the Host-State % Bilateral Investment Treaty (BIT) 6% Investment Contract between the Investor and the Host-State 8% Dominican Republic- United States-Central American Free Trade Agreement (DR-CAFTA) 7% 00 by International Centre for Settlement of Investment Disputes. Page 0

. Geographic Distribution of ICSID Cases Registered in 009 by State Party Involved Chart : Geographic Distribution of ICSID Cases Registered in 009 by State Party Involved*: North America (Canada, Mexico, U.S.) % Central America & the Carribean 0% Eastern Europe & Central Asia 8% Western Europe % South America 6% Sub-Saharan Africa % South & East Asia & the Pacific 8% Middle East & North Africa 6% * The classification of the geographic regions above is based on the World Bank s regional system, available at http://web.worldbank.org/wbsite/external/countries/0,,pagepk:8069~thesitepk:3697,00.html, and also includes World Bank donor countries. 00 by International Centre for Settlement of Investment Disputes. Page

5. Distribution of ICSID Cases Registered in 009 by Economic Sector Chart 5: Distribution of ICSID Cases Registered in 009 by Economic Sector*: Finance 8% Information & Communication % Agriculture, Fishing & Forestry 8% Transportation 6% Oil, Gas & Mining % Other Industry 8% Tourism 8% Construction % Water, Sanitation & Flood Protection % Electric Power & Other Energy 6% * The sector classification is based on the World Bank s sector codes, which are available at http://siteresources.worldbank.org/projects/resources/sectorcodeslists.pdf. 00 by International Centre for Settlement of Investment Disputes. Page

6. ICSID Cases Concluded in 009 Outcomes Chart 6: Arbitration Proceedings under the ICSID Convention and Additional Facility Rules concluded in 009 Outcomes: Award rendered by Tribunal 7% Proceeding Discontinued 8% Chart 7: Arbitration Proceedings under the ICSID Convention and Additional Facility Rules concluded in 009 Awards: Award on the merits 56% Award embodying the parties' settlement agreement % Award declining ICSID jurisdiction 33% 00 by International Centre for Settlement of Investment Disputes. Page 3

7. Arbitrators, Conciliators and ad hoc Committee Members Appointed in ICSID Cases in 009 Chart 8: Arbitrators, Conciliators and ad hoc Committee Members Appointed in ICSID Cases in 009 Distribution of Appointments by Geographic Region*: South America % Central America & the Caribbean % Middle East & North Africa 8% Sub-Saharan Africa % North America (Canada, Mexico & U.S.) 0% South & East Asia & the Pacific % Eastern Europe & Central Asia 3% Western Europe % * The classification of the geographic regions above is based on the World Bank s regional system, available at http://web.worldbank.org/wbsite/external/countries/0,,pagepk:8069~thesitepk:3697,00.html, and also includes World Bank donor countries. Chart updated in August 00. 00 by International Centre for Settlement of Investment Disputes. Page

Chart 9: Arbitrators, Conciliators and ad hoc Committee Members Appointed in ICSID Cases in 009 Distribution of Appointments by ICSID and by the Parties (or Party-appointed Arbitrators) by Geographic Region*: 35 30 3 5 0 7 5 0 5 0 8 3 3 0 6 6 North America (Canada, Mexico & U.S.) South America Central America & the Caribbean Middle East & North Africa Sub-Saharan Africa South & East Asia & the Pacific Eastern Europe & Central Asia Western Europe Appointments by ICSID Appointments by the Parties (or Party-appointed Arbitrators) * The classification of the geographic regions above is based on the World Bank s regional system, available at http://web.worldbank.org/wbsite/external/countries/0,,pagepk:8069~thesitepk:3697,00.html, and also includes World Bank donor countries. Chart updated in August 00. 00 by International Centre for Settlement of Investment Disputes. Page 5

Chart 0: Nationality of Arbitrators, Conciliators and ad hoc Committee Members Appointed in ICSID Cases in 009*: Nationality of Appointee Swiss/Irish Pakistani Nigerian Moroccan Malaysian Lebanese/French Jamaican Iranian/French German Dutch Bulgarian Brazilian Spanish Slovak Italian Guyanese Colombian Chilean Bangladeshi New Zealand Costa Rican British/French Belgian Swedish Argentine Egyptian Australian Swiss Canadian British French U.S. 3 3 3 3 5 5 6 8 8 3 0 6 8 0 Number of Appointments * Chart updated in August 00. 00 by International Centre for Settlement of Investment Disputes. Page 6